0000905718-12-000280.txt : 20121115 0000905718-12-000280.hdr.sgml : 20121115 20121114173238 ACCESSION NUMBER: 0000905718-12-000280 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20120930 FILED AS OF DATE: 20121115 DATE AS OF CHANGE: 20121114 EFFECTIVENESS DATE: 20121115 FILER: COMPANY DATA: COMPANY CONFORMED NAME: Water Asset Management LLC CENTRAL INDEX KEY: 0001423875 IRS NUMBER: 753185062 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 13F-HR SEC ACT: 1934 Act SEC FILE NUMBER: 028-14357 FILM NUMBER: 121205799 BUSINESS ADDRESS: STREET 1: 425 PARK AVENUE CITY: NEW YORK STATE: NY ZIP: 10022 BUSINESS PHONE: 212-754-5132 MAIL ADDRESS: STREET 1: 425 PARK AVENUE CITY: NEW YORK STATE: NY ZIP: 10022 13F-HR 1 water13fsept12.txt THIRD QUARTER 13F FORM 13F UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 Form 13F COVER PAGE Report for the Calendar Year or Quarter Ended: September 30, 2012 Check here if Amendment [ ]: This Amendment (Check only one.): [ ] is a restatement [ ] adds new holdings entries. Institutional Investment Manager Filing this Report: Name: Water Asset Management LLC ------------------------------------- Address: 509 Madison Avenue, Suite 804 New York, New York 10022 ---------------------------------------- Form 13F File Number: 028-14357 ------------------------------- The institutional investment manager filing this report and the person by whom it is signed hereby represent that the person signing the report is authorized to submit it, that all information contained herein is true, correct and complete, and that it is understood that all required items, statements, schedules, lists, and tables, are considered integral parts of this form. Person Signing this Report on Behalf of Reporting Manager: Name: Joseph Kirincich Title: Chief Financial Officer Phone: 212-754-5132 Signature, Place, and Date of Signing /s/ Joseph Kirincich New York, NY November 14, 2012 --------------------- -------------- ------------------- [Signature] [City, State] [Date] Report Type (Check only one): [X] 13F HOLDINGS REPORT. (Check here if all holdings of this reporting manager are reported in this report.) [ ] 13F NOTICE. (Check here if no holdings reported are in this report, and all holdings are reported by other reporting manager(s).) [ ] 13F COMBINATION REPORT. (Check here if a portion of the holdings for this reporting manager are reported in this report and a portion are reported by other reporting manager(s).) Form 13F Summary Page Report Summary Number of Other Included Managers: None ---- Form 13F Information Table Entry Total: 16 -- Form 13F Information Table Value Total: $133,443 (thousands) -------------------- List of Other Included Managers: None ---- FORM 13F INFORMATION TABLE Water Asset Management LLC FORM 13F September 30, 2012
TITLE OF VALUE SHARES/ SH/ PUT/ INVSTMT OTHER VOTING AUTH NAME OF ISSUER CLASS CUSIP (x1000) PRN AMT PRN CALL DSCRETN MNGRS SOLE SHRD NONE AMERICAN STS WTR CO COM 029899101 1,853 50,000 SH Sole 50,000 AECOM TECHNOLOGY CORP DELAWA COM 00766T100 33,317 1,574,534 SH Sole 1,574,534 CADIZ INC COM NEW 127537207 11,772 1,212,390 SH Sole 1,212,390 CALGON CARBON CORP COM 129603106 286 20,000 SH Sole 20,000 LAYNE CHRISTENSEN CO COM 521050104 13,317 679,083 SH Sole 679,083 NORTHWEST PIPE CO COM 667746101 8,065 327,178 SH Sole 327,178 PENTAIR INC COM 709631105 22,284 500,658 SH Sole 500,658 REXNORD CORP NEW COM 76169B102 1,447 79,400 SH Sole 79,400 SMITH A O COM 831865209 601 10,452 SH Sole 10,452 TRI-TECH HOLDING INC SHS G9103F106 1,299 343,531 SH Sole 343,531 FLOWSERVE CORP COM 34354P105 4,696 36,764 SH Sole 36,764 HECKMANN CORP COM 422680108 7,922 1,886,181 SH Sole 1,886,181 TETRA TECH INC NEW COM 88162G103 11,181 425,775 SH Sole 425,775 WATTS WATER TECHNOLOGIES INC CL A 942749102 5,142 135,918 SH Sole 135,918 XYLEM INC COM 98419M100 5,440 216,314 SH Sole 216,314 CALIFORNIA WTR SVC GROUP COM 130788102 4,821 258,500 SH Sole 258,500
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